Steven Michael Keesal

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2007 → 10/2023
  Oppenheimer & Co. Inc.
  Los Angeles, CA
• 10/2023 → Present
  Rbc Capital Markets, Llc
  Los Angeles, CA
• 12/2023 → 12/2023
  City National Bank
  Los Angeles, CA
• 01/2024 → Present
  City National Bank
  Los Angeles, CA

Previous Registrations

• 2008-07-23 → 2023-11-03
  Oppenheimer & Co. Inc.
  Los Angeles, CA

Other Businesses

(1)NAME OF ENTITY: Long Beach Area Council Boy Scouts of America ADDRESS: 401 E. 37th St., Long Beach, CA 90807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization for youth START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on budgets. spending and fundraising activities of the organization. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (2)NAME OF ENTITY: YMCA of Greater Long Beach ADDRESS: 3605 Long Beach Blvd. #210, Long Beach, CA 90807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization serving community. START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on investment, spending and fundraising activities of the organization. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (3)NAME OF ENTITY: American Gold Star Manor ADDRESS: 3021 N Gold Star Dr., Long Beach, CA 90810 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Operating Foundation serving Gold Star parents and Veterans. START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on budgets, spending and operations. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (4) NAME OF ENTITY: Long Beach Community Foundation ADDRESS: 400 Oceangate #800, Long Beach, CA 90802 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization serving community CAPACITY: Board of Directors * START DATE: 01/01/2020 DUTIES: board gives guidance on budgets, spending and fundraising activities of the organization HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (5) NAME OF ENTITY: Rotary Club of Long Beach ADDRESS: 1126 Queens Hwy. Sylvania Room Long Beach CA 90802 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jul 01, 2026 CAPACITY: Board of Directors DUTIES: Assistant to President, assisting communications between President, the Board of Directors and the ~240 club members. Giving advice of a non-financial nature to the President. HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2007-10-23